Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael Bastounis and Theresa Bastounis, (Claimants) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., Robert S. Bagby, and Matthew J. Zepp, (Respondents) Case Number: 00-02403 Hearing Site: Cleveland, Ohio REPRESENTATION OF PARTIES Claimants, Michael Bastounis ("M. Bastounis") and Theresa Bastounis ("T. Bastounis"), hereinafter collectively referred to as "Claimants": Frank

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Heather Sweeny Case No. 97-05610 Name of Respondent Prime Charter Ltd. REPRESENTATION For Claimant Heather Sweeny appeared Carla E. Craig, Esq. of the law firm of Hertzog, Calamari & Gleason, located in New York, New York. For Respondent Prime Charter Ltd. appeared David Mahler, in-house counsel at Prime Charter Ltd. located in New York, New York.

N.A.S.D. REGULATION, INC. AWARD CASE: 97 - 05605 Jim Hayes, claimant vs. Ronald Gambella and Josephthal Lyon & Ross Inc., respondents, ATTORNEYS: Claimant appeared Pro Se. - Annandale, VA. Respondent Ronald Gambella appeared Pro Se. - Port Jefferson, NY. For respondent Josephthal Lyon & Ross Inc. appeared John E. Bersin, Esq. - New York, NY. DATE FILED: 11/28/97 CASE SUMMARY: Claimant alleged misrepresentation and negligence. Claim Data Award Data

NASD REGULATION, INC. AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Everen Securities v. Arbitration No. 97-05604 Name of Respondent Robert Cirillo REPRESENTATION For Claimant: Timothy N. Will, Esq. Albert & Will, LLP Torrance, California For Respondent: Robert L. Cirillo In pro per West Covina, California CASE INFORMATION Statement of Claim filed

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Amir Rahimi and Davood Ghasemzadah Case No. v. 97-05599 Name of Respondent Kenneth Greenbaum REPRESENTATION For Claimants Amir Rahimi and Davood Ghasemzadah ("Claimants") appeared David E. Robbins, Esq. of the law firm of Kaufman, Feiner, Yamin, Gildin & Robb, located in New York, New York. Respondent Kenneth Greenbaum ("Respondent") appeared pro s

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 97-05596 David W. Richards, claimant vs. Olde Discount Corporation and Grahame Richards, respondents. ATTORNEYS: For Claimant appeared Mathis Becker, Esq., of the firm, Vaughan & Becker, P.C., Sun City, AZ. For Respondents appeared in-house counsel, Amy Kutt Richards, Esq., Detroit, MI. DATE FILED: November 26, 1997. CASE SUMMARY: Claimant alleged that re

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Van K. Wilburn vs, Case No. 97-05593 Name of Respondents L.C. Wegard and Co. Joseph Orlando REPRESENTATION Claimant Van K. Wilburn ("Claimant") appeared pro se. Respondent L.C, Wegard and Co. ("L.C. Wegard") did not enter an appearance. Respondent Joseph Orlando ("Orlando") appeared pro se at the hearing, although he was previously represented b

AWARD NASD REGULATION. INC. In the matter of the Arbitration Between Name of Claimant(s) James R. Bunzow Arbitration No. 97-05585 Name of Respondent(s) Maidstone Financial, Inc. Marshall Alan Bernstein Michael Louis Accurso Alain Gonzalez, a.k.a. Alan Mitchell Christopher Zekakos, a.k.a. Chris Lincoln REPRESENTATION For Claimant: Robert S. Banks, Jr., Esq., Banks & Underbill, P.C., Portland, Oregon For Respondent Maidston

STIPULATED AWARD NASD REGULATION, INC. In the matter of the arbitration between Name of Claimant SYLVIA DUDOCK 97-05581 Name of Respondents SPENCER TRASK SECURITIES CORPORATION, ET AL. REPRESENTATION For Claimant Sylvia Dudock ("Claimant") appeared Allan N. Taffet, Esq. of the law offices Paradise & Alberts LLP, located in New York, New York. For Respondents Spencer Trask Securities Corporation, Stuart Brown ("Brown") and William Dioguar

Award NASD Dispute Resolution [n the Matter of the Arbitration Between: Michael Bastounis and Theresa Bastounis, (Claimants) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., Robert S. Bagby, and Matthew J. Zepp, (Respondents) Case Number: 00-02403 Hearing Site: Cleveland, Ohio REPRESENTATION OF PARTIES Claimants, Michael Bastounis ("M. Bastounis") and Theresa Bastounis ("T. Bastounis"), hereinafter collectively referred to as "Claimants": Frank C, Fogl,